Edward Hunter Thompson Jr
Professional Summary
Edward Hunter Thompson JR is a registered financial advisor currently at THOMPSON DAVIS & CO., INC. located in Richmond, Virginia. Edward is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1973. Edward has worked at 5 firms and has passed the Series 66, Series 63, Series 7TO, Series 99TO, SIE, Series 41, PC, Series 16, Series 1 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
58 years in the financial services industry
Current & Past Employments
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Current Firm
BLOOMBERG SECURITIES, INC. | ZERMATT WEALTH PARTNERS | THOMPSON DAVIS PRIVATE WEALTH MANAGEMENT | THOMPSON DAVIS ASSET MANAGEMENT | THOMPSON DAVIS & CO., INC. | NET SECURITIES CORP.
Contact Information
Main Address
9030 Stony Point Pkwy, Ste 100, Richmond, VA 23235Mailing Address
9030 Stony Point Pkwy, Ste 100, Richmond, VA 23235Phone Number
(804) 644-6380Established
New York since 08/24/1995Firm Type
CorporationFiscal Year End
DecemberFirm Size
Small# of Employees
9SEC notice filing (5 States and Territories)
Registered to provide investment advisory services in 5 US states and territories.
FINRA licenses (33 States and Territories)
Registered to provide investment advisory services in 5 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DAVIS, WILLIAM DALE JR | CEO | 2056775 |
| THALHIMER, ADAM ROBERT | DIRECTOR OF RESEARCH | 4472072 |
| THOMPSON, EDWARD HUNTER JR | CHAIRMAN | 445674 |
| ALTIZER, JUNE ELAINE | CFO/FINOP/PFO/POO | 2114981 |
| DANIEL, MATTHEW HENRY | SR. VICE PRESIDENT | 4258203 |
| WALZ, PEGGY MYERS | CCO | 2996925 |
| JONES, BRANT CHRISTOPHER | INVESTMENT ADVISOR | 5945363 |
Regulatory Assets Under Management
Total Number of Accounts
300AUM (Assets Under Management)
$211,338,163Disclosures
Regulatory Event
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
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Primary Firm SEC Registration
BLOOMBERG SECURITIES, INC. | ZERMATT WEALTH PARTNERS | THOMPSON DAVIS PRIVATE WEALTH MANAGEMENT | THOMPSON DAVIS ASSET MANAGEMENT | THOMPSON DAVIS & CO., INC. | NET SECURITIES CORP.
State Registrations and Notice Filings
(6/8/2007)
(11/17/2017)
(2/15/2024)
(2/13/2024)
(2/13/2024)
(8/21/2024)
(5/8/2003)
(6/11/2007)
(7/12/2002)
(2/9/2007)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 41 — NYSE Allied Member Examination
Passed Jul 1981PC — AMEX Put and Call Exam
Passed Sep 1977Series 1 — Registered Representative Examination
Passed Apr 1968SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Edward Hunter Thompson JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Edward Hunter Thompson JR's CRS (Customer Relationship Summary).
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